DFX Intelligence
RIA Intelligence
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Registered advisor
J••• A• R••••••••
Feed of 09/14/2026
At current firm
5 y
since May 4, 2021
In the industry
20 y
since Sep 8, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 4, 2021 · New Rochelle, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 29, 2013 to Apr 30, 2021 · Yonkers, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2009 to Dec 5, 2012 · Huntington, Ny
- C•••• I••••••••• S••••••• C•••• formerFeb 10, 2009 to May 20, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left Apr 30, 2021, registered May 4, 2021 (4 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left Dec 5, 2012, registered Oct 29, 2013 (328 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 20, 2009, registered Sep 24, 2009 (127 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address